Series 24 Jobs
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Search Results - Series 24 Jobs
Ascendo Resources-Miami
within a U.S. broker-dealer and/or registered investment adviser.
• Strong knowledge of SEC and FINRA rules and applicable U.S. securities laws.
• Demonstrated experience as a FINRA Registered Principal.
• FINRA Series 24 required.
• Experience managing...
appcast.io -
Liberty Personnel Services, Inc.-Wayne (PA)
Active FINRA Series 24 license
• Series 7 required; Series 63/65/66 desired.
• 12+ years of experience in financial services, with proven leadership in a RIA or broker-dealer
• Hands-on experience with FINRA exams and regulatory processes.
• Strategic...
Leeds Professional Resources-Miami
Active FINRA Series 7 and Series 24 licenses are required.
Key Responsibilities
• Broker-Dealer Operations: Oversee daily operational activities, including account opening, account maintenance, transfers, trade support, documentation, and transaction...
appcast.io -
Apex Systems-North Charleston
in annuity review.
• Prior experience in a client-facing role—comfortable on the phone and able to clearly explain complex issues and ask open-ended questions.
• Strong knowledge of Smartsheet
• Licensing Required: Active Series 7 and either Series 24...
Alexander Chapman-Chicago
a FINRA-registered broker-dealer.
• Experience handling regulatory examinations and interacting with regulators preferred.
• Familiarity with trading operations, technology, and controls preferred.
• Knowledge of multiple asset classes desirable.
• Series...
appcast.io -
Apex Systems-Columbia
in annuity review.
• Prior experience in a client-facing role—comfortable on the phone and able to clearly explain complex issues and ask open-ended questions.
• Strong knowledge of Smartsheet
• Licensing Required: Active Series 7 and either Series 24...
HW3-New York
Series 7 license required.
• FINRA Series 24 license required or ability to obtain following hire.
• Significant AML compliance experience within a FINRA-registered broker-dealer.
• Strong knowledge of BSA/AML, FINRA, SEC, and applicable financial...
lwqct.com -
Leeds Professional Resources-Miami
Experience in broker-dealer compliance.
• Strong analytical, oral, and written communication skills.
• Ability to provide strategic guidance on complex regulatory issues.
• FINRA Series 24 license is required....
appcast.io -
Equitable Advisors-Greensboro
Series 24 exam prior to stepping into leadership
• Ability to draw upon past/present experiences and acquaintances to develop markets and sustain long-term relationships
• Desire to help others plan for and protect their financial futures
• Knowledge...
lwqct.com -
Leeds Professional Resources-Miami
advisory operations experience preferred.
• Series 7 and Series 66, plus either Series 24 or Series 9/10, required.
• Bilingual English/Spanish required.
• Experience supervising staff and managing daily operational workflows.
• Knowledge of multi-custodian...
appcast.io -
Equitable Advisors-Raleigh
Series 24 exam prior to stepping into leadership
• Ability to draw upon past/present experiences and acquaintances to develop markets and sustain long-term relationships
• Desire to help others plan for and protect their financial futures
• Knowledge...
lwqct.com -
Citigroup-New York
Series 9 + Series 10 (or Series 24, Series 4, and Series 53)Must meet ALL US FINRA Registration requirements within 150 days of hire date.Required: Group 1 - Life and Variable Annuity LicenseMust meet ALL requirements within 150 days of hire...
mindmatch.ai -
Saturna Capital-Bellingham (WA)
Administration, or a related field required.
• Advanced degree, relevant securities licenses, or industry certifications are preferred.
• Required to obtain and maintain applicable FINRA licenses, including SIE, Series 7, Series 63, and Series 24.
• Twelve...
Citigroup-San Francisco
Series 63 (or Series 66), and Series 24 (Series 9/10 accepted)Education:Bachelors/University degree, Masters degree preferred---Job Family Group: Private Client Coverage---Job Family:Client Services---Time Type:Full time---Primary Location:San Francisco...
mindmatch.ai -
CSS-New York
compliance initiatives.
Required Qualifications
• At least five years of compliance experience within both a FINRA-registered broker-dealer and an SEC-registered investment adviser.
• Active SIE, Series 7, and Series 24 licenses.
• Strong working knowledge...
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